Broadwind Energy Inc

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Stock Issuer and Owners

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Broadwind Energy Inc
TickerBWEN
CIK #0001120370
CUSIP11161T207
SectorManufacturing
IndustryNonferrous Foundries (Castings)
Phone6306370315
Address47 E Chicago Avenue Suite 332
Naperville, IL 60540
Source [EDGAR]
Market Cap, 13F ($)
Business

As used in this Annual Report, the terms “we,” “us,” “our,” “Broadwind” and the “Company” refer to Broadwind Energy, Inc., a Delaware corporation headquartered in Cicero, Illinois, and its wholly‑owned subsidiaries (the “Subsidiaries”). Dollars are presented in thousands unless otherwise stated.

Broadwind is a precision manufacturer of structures, equipment and components for clean tech and other specialized applications. We provide technologically advanced high value products to customers with complex systems and stringent quality standards that operate in energy, mining and infrastructure sectors, primarily in the United States of America (the “U.S.”). Our capabilities include, but are not limited to the following: heavy fabrications, welding, metal rolling, coatings, gear cutting and shaping, heat treat, assembly, engineering and packaging solutions.

We provide large, complex and precision fabrications to customers in a broad range of industrial markets. Our most significant presence is within the U.S. wind energy industry, although we have diversified into other industrial markets in order to improve our capacity utilization, reduce our

CIK Filing 2011 - 2023
[0001120370] 10-K
[0001120370] 10-Q
[0001120370] 3
[0001120370] 4
[0001120370] 5
[0001120370] 8-K
[0001120370] SC 13G
Form 13D/13G Filer Form 13D/13G Subject Filed % Owned
Invesco Ltd Broadwind Inc [2021-01-11] 10.6
ICS Opportunities Ltd Broadwind Inc [2021-01-04] 1.8
Luxor Capital Group LP Broadwind Inc [2020-07-09] 2.58
Principal Financial Group Inc Broadwind Energy Inc [2020-02-11] 5.57
Man Group PLC Broadwind Energy Inc [2017-05-12] 5.73
Grace & White Inc /NY Broadwind Energy Inc [2016-02-04] 11.0
Marxe Austin W & Greenhouse David M Broadwind Energy Inc [2013-09-10] 19.1
Form 3/4/5 Filer 2011 - 2023
Kennedy Hayes M.
Broadwind Inc
Wood Cary B
Christman Philip J
Reiland David P
Wagner Thomas A.
Shivaram Sachin M
Press Jeanette A.
Blashford Eric B.
Schueller Daniel E.
Mayo Gilbert W. Jr.
Hanna Wayne W.
Ciccone Thomas A
Kushner Stephanie K
Fox Terence P
Bonfigt Jason Lee
Jensen Erik W.
Reisinger Joseph V.
Lisboa Persio V
Fell David W.
Rogowski Robert R
Beynon Charles H.
AWM Investment Company, Inc.
Duprey Peter C.
Fejes William Theodore JR
Marxe Austin W & Greenhouse David M
Collins Jesse E. Jr.
Tontine Management LLC
Tontine Capital Overseas GP, LLC
Tontine Overseas Associates LLC
Tontine Capital Management LLC
Tontine Capital Overseas Master Fund II LP
Tontine Asset Associates LLC
Tontine Associates, LLC
Gendell Jeffrey L ET AL
Tontine Power Partners LP
Rubin Jonathan David
Shares Owned of Total
Firm Period DFND Voting Shares
Grace & White Inc /NY [2023-03-31] SOLE 424,358.0 1,282,364.0
Vanguard Group Inc [2023-03-31] SOLE 0.0 955,893.0
AIGH Capital Management LLC [2023-03-31] SOLE 754,000.0 754,000.0
Quinn Opportunity Partners LLC [2023-03-31] SOLE 430,741.0 617,723.0
Millennium Management LLC [2023-03-31] SOLE 375,640.0 375,640.0
BlackRock Inc. [2023-03-31] SOLE 359,889.0 359,889.0
Dimensional Fund Advisors LP [2023-03-31] SOLE 237,635.0 246,064.0
AIGH Capital Management LLC [2023-03-31] OTR 0.0 246,000.0
Worth Venture Partners LLC [2023-03-31] OTR 0.0 246,000.0
Susquehanna International Group LLP [2023-03-31] DFND 0.0 214,200.0
Essex Investment Management Co LLC [2023-03-31] SOLE 70,312.0 206,596.0
Geode Capital Management LLC [2023-03-31] DFND 192,514.0 192,514.0
Two Sigma Investments LP [2023-03-31] SOLE 171,338.0 171,338.0
Must Asset Management Inc. [2023-03-31] SOLE 159,890.0 159,890.0
Belvedere Trading LLC [2023-03-31] SOLE 139,176.0 139,176.0
Renaissance Technologies LLC [2023-03-31] SOLE 6,800.0 134,200.0
JPMorgan Chase & Co [2023-03-31] DFND 124,887.0 124,887.0
US Bancorp de [2023-03-31] DFND 0.0 117,130.0
Marshall Wace LLP [2023-03-31] OTR 0.0 102,231.0
EAM Investors LLC [2023-03-31] SOLE 27,220.0 87,099.0
Two Sigma Advisers LP [2023-03-31] SOLE 69,500.0 70,600.0
State Street Corp [2023-03-31] DFND 63,765.0 63,765.0
Squarepoint Ops LLC [2023-03-31] DFND 0.0 60,899.0
XTX Topco Ltd [2023-03-31] DFND 59,902.0 59,902.0
Schonfeld Strategic Advisors LLC [2023-03-31] SOLE 58,200.0 58,200.0
Simplex Trading LLC [2023-03-31] SOLE 55,762.0 55,762.0
Citadel Advisors LLC [2023-03-31] DFND 53,900.0 53,900.0
Walleye Capital LLC [2023-03-31] SOLE 51,859.0 51,859.0
Boston Partners [2023-03-31] DFND 0.0 45,992.0
Russell Investments Group, Ltd. [2023-03-31] DFND 0.0 45,992.0
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